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Investment Management Swing Pricing

K&L Gates LLP

US Asset Management Regulatory Year in Review 2023

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It is a dramatic understatement to describe 2023 as a busy year in the United States for asset management regulation. With 24 rules adopted and 18 new rules or rule amendments proposed, the US Securities and Exchange...more

Morgan Lewis

SEC Proposes Mandatory Swing Pricing for Mutual Funds and Revised Liquidity Requirements

Morgan Lewis on

On November 2, 2022, the US Securities and Exchange Commission (SEC), by a 3-2 party line vote, proposed amendments (the Proposal) to the liquidity risk management programs rule (Rule 22e-4) under the Investment Company Act...more

Sullivan & Worcester

SEC Proposes Changes to Liquidity Risk Management and Swing Pricing Rules

Sullivan & Worcester on

On November 2, 2022, the Securities and Exchange Commission (“SEC”) proposed  amendments to the current rules relating to liquidity risk management and swing pricing (the “Proposal”)....more

Dechert LLP

SEC Adopts New Rules and Rule Amendments to: (1) Require Liquidity Risk Management Programs for Registered Open-End Investment...

Dechert LLP on

Earlier today, the U.S. Securities and Exchange Commission (SEC) unanimously adopted a new rule and amendments to certain rules and forms that will require registered open-end investment companies, including mutual funds and...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update - November 2015

Morrison & Foerster LLP on

Regulation - OCIE Cautions Advisers on Outsourcing Compliance Activities: In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced...more

K&L Gates LLP

U.S. SEC Proposes Liquidity Risk Management Programs, Optional “Swing Pricing,” and Liquidity Reporting for Mutual Funds and...

K&L Gates LLP on

On September 22, 2015, the Securities and Exchange Commission (“SEC”) proposed a new rule and amendments to rules and reporting forms under the Investment Company Act of 1940 (the “1940 Act”), designed to standardize...more

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